FINRA’s Recordbreaking Fines and Sanctions of 2015

According to the annual analysis conducted by Sutherland Asbill & Brennan LLP, FINRA increased sanctions in 2015 dramatically. While fines actually dropped, FINRA ordered $96 million dollars in restitution, a whopping increase of 200% over the $32 million ordered in 2014.

With the top enforcement issues for 2015 ranging from administrative or technical issues to failing to meet reporting obligations, it is important to understand how to ensure your compliance and cybersecurity practices meet regulator standards.

In this webinar, Smarsh and law firm Sutherland Asbill & Brennan cover:

  • The top 5 regulatory enforcement issues from 2015
  • Emerging trends from FINRA and SEC actions, including recent cybersecurity initiatives
  • What regulators will be focusing on in 2016

      Brian L. Rubin,
      Sutherland Asbill & Brennan LLP

      Brian Rubin is the Washington office leader of Sutherland’s Litigation group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. With more than 20 years of experience in federal securities law, first prosecuting for the SEC and NASD and now defending, Brian represents clients being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations and states.

      Andrew McComick

      Sutherland Asbill & Brennan LLP

      Andrew McCormick is an Associate in Sutherland’s Securities Enforcement and Litigation Team. Andrew regularly represents broker-dealers and investment advisers in investigations, enforcement actions, and litigation.

      Mike Pagani,

      Smarsh, Inc.

      Mike Pagani is Senior Director of Product Marketing and Chief Evangelist at Smarsh. He is a seasoned IT professional and recognized subject matter expert in the areas of mobility, identity and access management, network security and virtualization. In his role, Mike also works with industry regulators, such as the SEC and FINRA, to keep customers and partners informed of the latest developments and requirements related to electronic communications compliance.

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